Trade Compliance Officer at Aviso (Winnipeg)

Elevate your compliance career with Aviso as a Trade Compliance Officer. Focus on trade surveillance, ensuring adherence to CIRO regulations and internal policies across business lines.

As a key member of the Compliance team, you'll report to the Director of Trade Compliance. Your role will be pivotal in executing daily and monthly compliance reviews to identify manipulative trading practices. This is an prospect to leverage your analytical skills while enhancing policies and processes for reporting and education.

Key Responsibilities

• Review compliance reports for regulatory violations
• Conduct PRO account trading reviews and document changes
• Approve new brokerage and institutional accounts
• Prepare and submit regulatory compliance reports
• Communicate trade compliance concerns to advisors

Requirements

• Postsecondary degree in relevant field
• 3–5 years of industry experience, 4+ in com...